Local Public Agency (LPA) Basic Certification Training March 2014

1. Local Public Agency (LPA)Basic Certification Training March 2014 1

2. A Living Document Provides links to References and Resource People Defines the Process for: Project Development Letting Construction LPA Guidance Document 2

3. LPA Guidance Document • Critical Elements • Fatal Flaws • Documentable Proof 3

4. Resources INDOT Central Office: Kathy Eaton-McKalip Director of LPA & Grant Administration 100 N Senate Avenue Indianapolis, IN 46204 317-234-5142 Kaeaton-mckalip@indot.in.gov Britni Saunders LPA Training Program Director 100 N Senate Avenue Indianapolis, IN 46204 317-234-7930 bsaunders@indot.in.gov Brenda Fox LPA Policy & Guidance 100 N Senate Avenue Indianapolis, IN 46204 317-232-5311 bfox@indot.in.gov For general questions, feedback or training registration: LPAQuestions@indot.in.gov 4

5. District Local Program Directors Fort Wayne District Office David Armstrong Phone:  (260) 969-8277 Email: darmstrong@indot.in.gov LaPorte District Office Marcia Blansett Phone:   (219) 325-7564 Email:mblansett@indot.in.gov Vincennes District Office Lora Lewis Phone:   (812) 895-7393 Email: llewis@indot.in.gov Crawfordsville District Susan Kemp Phone: (765) 361-5228 Email: skemp@indot.in.gov Greenfield District Office Kim Bowdell/Cassandra Hudson Phone:   (317) 467-3440 Email: kbowdell@indot.in.gov Email: chudson@indot.in.gov Seymour District Office Debra Ault Phone: (812) 524-3969 Email: dault@indot.in.gov 5

6. Program Introduction Chapter 1 1

7. ROLES AND RESPONSIBILITIES 8

8. Federal Highway Administration (FHWA) • FHWA – Responsible for ensuring adequate and proper delivery of federal-aid projects. 9

9. Indiana Department of Transportation (INDOT) • INDOT: a. Provides technical assistance to the LPA b. Accountable to FHWA to ensure all project elements comply with federal law and regulations c. Ensures that local projects utilizing federal funds made available by INDOT are appropriately utilized in a timely manner and are in compliance with all federal and state regulations 10

10. Local Public Agency (LPA) • LPA: a. Must have a certified Employee in Responsible Charge (ERC) before applying for federal-aid funds for a project. • The ERC role cannot be filled by a consultant or a contract employee hired by the LPA. • The ERC must be an employee of the LPA. • Because many smaller LPAs do not maintain full time staff, the ERC is not required to be a full time employee.” 11

11. Responsibilities of the ERC: Managerially responsible for project Listed in Section 1-3.02 of the LPA Guidance Document ERC (cont.) 12

12. ERC (cont.) A few of the responsibilities of the ERC: • Submits electronic project application • Ensures the INDOT-LPA Project Coordination Contract is executed and returned to INDOT • Submits the Requests for Proposals to INDOT for a consultant • LPA’s ERC is responsible for attending Quarterly Tracking meetings and submitting required electronically Quarterly Reports detailing up-to-date cost estimates and schedules through project construction. 13

13. The consulting firm must be on INDOT’s pre-qualified consultant list. Consultant must have a Certified Project Manager who has attend LPA Project Development Training and become certified prior to working on an active project. Provide information the ERC for quarterly reports and attend tracking meetings. Consultant Requirements 14

14. Metropolitan Planning Organization (MPO) Coordination Chapter 6 1

15. Metropolitan Planning Organization (MPO) • MPO’s are responsible for transportation planning in urbanized areas. • These areas are based upon population density taken from the Census. • An MPO has multiple boundaries. • In their core or Urbanized area, they plan and fund the projects. • MPO’s also coordinate on projects within a larger planning area.

16. Understanding MPOs Metropolitan Planning Organization (MPO)Maps showing the urban area boundary for each MPO:http://dotmaps.indot.in.gov/apps/PlanningDataViewer/FC_Maps/FC_listing.asp 20

17. MPO Coordination http://indianampo.com/PDF/MPOs.pdf 19

18. Transportation Improvement Program (TIP) • This is a 4 year planning document specific to an MPO. • The TIP shows projects in that period with all funded phases in the year and amount of funds those will be obligated. • TIP Phases are Preliminary Engineering (PE), Right of Way (ROW) and Construction (CN).

19. Statewide Transportation Improvement Program (STIP) • The STIP is the same type of planning document as an MPO’s TIP. • INDOT is responsible for this document. • The STIP covers projects across the State as a whole including LPA projects. 18

20. MPO Coordination • LPAs outside of the Urbanized Area (UZA), but inside the Metropolitan Planning Area Boundary (MPA), should submit their projects to the MPO for concurrence. • All Indiana MPOs conduct Quarterly Tracking meetings. The flow of information should be bi-directional. MPO_INDOT Cooperative Operations Manual www.in.gov/indot/files/LPA_MPOManual.pdf Indiana MPO Council Website www.indianampo.com 21

21. Most LPA Surface Transportation (STP) funded projects located within an Urbanized Area are funded by the Metropolitan Planning Organization (MPO) using selection criteria established by the MPO’s Policy Committee. LPAs must notify the MPO of any change in project scope, project phase costs, project/phase timelines, funding sources, etc. so the MPO can appropriately modify or amend its TIP. LPAs must familiarize themselves with the MPO’s established Change Order Policy and comply with that policy. MPO Coordination 22

22. Early Coordination meeting Project Development Process Consultant Selection Process LPA-Consulting Contract INDOT-LPA Contract Funding phases Environmental Process Right-of-Way Acquisition Process Schedule and Budget Responsibilities of the Local Public Agency Early Coordination Meeting 24

23. 1 contract covering all phases Schedule and Term FMIS approval INDOT-LPA Contract 25

24. INDOT-LPA Contract Terms: Funding Window LPA’s responsibilities INDOT’s responsibilities Maximum amount of federal funds, including credits, for the project. INDOT-LPA Contract – Contract Terms 26

25. INDOT-LPA Contract (cont.) Supplemental INDOT-LPA Contracts: • Changes in the scope • Changes in the federal funding • Changes in funding sources • Additional award • Move to a different letting 27

26. INDOT-LPA Contract (cont.) Executed INDOT-LPA Contract returned to District Local Program Director • Executed contract must be returned within 6 weeks of receipt of contract • If not returned funds could be rescinded 29

27. Signature page of the INDOT-LPA Contract: Required signatures of LPA Highest elected official Clerk Treasurer/Auditor INDOT-LPAContract (cont.) 30

28. Fiscal Management Information System (FMIS) FMIS: federal authorization for the use of Federal-aid funds on a specific project phase Every project phase must have FMIS Authorization before any work begins. The ERC must request FMIS authorization for the Right-of-Way phase in writing after the environmental document has been approved. Request for Federal Funds 31

29. Important revision to the LPA Guidance Document: Before funds can be requested through FMIS: The project phase must be in the TIP (if applicable) and the STIP. FMIS Authorization 32

30. FMIS Authorization (cont.) • INDOT must have a copy of the executed LPA-Consulting Contract. • The INDOT–LPA Contract must be approved by the Attorney General’s office. • A Purchase Order will be opened. • Notice to Proceed to the LPA is given by the District Local Program Director 33

31. Notice to Proceed What is the most important thing to remember before beginning work on a project phase? 34

32. FMIS Authorization (cont.) ANSWER: If you want reimbursed for any work your Consultant has done on a project, you must wait to receive INDOT’s written Notice to Proceed! 35

33. 10 minute break!

34. Consultant Contracting Chapter 7 1

35. Topics covered in this chapter include: Applicability and LPA Responsibilities Selection Process Contract Scoping and Negotiation Contract Administration Errors and Omissions Documentation Consultant Contracting 37

36. When consultant services are to be funded with federal-aid dollars, or by credits used as a match for construction, the LPA must follow all Federal requirements. When no Federal dollars are used to pay for services, all services leading to federally funded construction must be performed by INDOT prequalified consultants. Applicability and Responsibility 39

37. Federally funded consultant selection, contracting and contract administration activities shall be performed by or under the supervision of a certified Employee in Responsible Charge (ERC). Applicability and Responsibility 40

38. http://www.in.gov/dot/div/legal/rfp/LPARFP/LPAConsultantSelectionToolkit.pdfhttp://www.in.gov/dot/div/legal/rfp/LPARFP/LPAConsultantSelectionToolkit.pdf Links to all relevant documents are included in this Toolkit!!! Prepare RFP Request Past Performance Data and Verify Prequalification Scoring Ties and DBE Verification LPA Selection Review Checklist INDOT Selection Process Approval LPA Consultant Selection Toolkit 41

39. Use RFP Template Identify Prequalification Requirements Contact Economic Opportunity Division (EOD) for Disadvantaged Business Enterprise (DBE) goal Include in request: Brief Description of Project; DES No.; Total Project Cost; Estimated Fee; Typical Sub-consulting Opportunities Associated with Type of Service; Copy of RFP; your e-mail On-line: http://www.in.gov/indot/div/legal/dbe/dbegoalrequestform.htm Email: DBEGoalRequest@indot.in.gov LPA prepares Request for Proposal (RFP) 42

40. Submit RFP to INDOT District INDOT posts RFP to website LPA may also post locally LPA receives Letter of Interest (LOI) Minimum of 3 responses RFP Advertisement 43

41. LPA requests past performance scores from district LPA verifies prequalification requirements met LPA rates firms and ranks LPA submits Affirmative Action Certification Form of top ranked firm to EOD for approval LPA Selection Review Checklist RFP Responses Received 44

42. ! Verify INDOT Pre-qualification of firms who submitted LoIs Prequalification information: http://www.in.gov/indot/2732.htm The Prime Consultant is not required to be pre-qualified in every work type; however, either the Prime or the Sub-Consultants must be pre-qualified in every work type category listed in the RFP. The LPA must confirm the pre-qualifications for both. Verify Prequalification Requirements 45

43. Selection Rating Sheet 46

44. It is the responsibility of scorers to make every effort to identify the firm most capable of producing the highest quality deliverables in a timely and cost effective manner without regard to personal preference. I certify that I do not have any conflicts of interest associated with this consultant as defined in 49CFR18.36. I have thoroughly reviewed the letter of interest for this consultant and certify that the above scores represent my best judgment of this firm’s abilities. Signature:_________________ Print Name:________________ Date:_________ Rating Sheet Certification 47

45. Ranking Tabulation Form 48

46. LPA Selection Review Checklist 49

47. General Information: Number of Letters of Interest received __, if less than 3 attach documentation of recruitment efforts. Number of teams that not meet prequalification requirements_____. Explain why teams did not meet qualifications. _______________________________ ___________________________________________ If pre-screening was used, was it consistent with the process advertised in the RFP? (Yes)(No)_________. Selection Review Checklist – General Information 50

48. All scorers used the same score sheet as advertised in the RFP. All scorers have scored all firms that met prequalification requirements. All scorers used the values from the “Scale” column to populate the “Score” column. The Location rating for the same firm has the same value applied on every score sheet. Past Performance is applied consistently (Only applicable if Past Performance is required) N/A The calculations for weighted scores and weighted sub-totals are correct. The Signature and Date of Scorer is on each score sheet. Selection Review Checklist – Score Sheets 51

49. The signature of Scoring Team Leader and Date are on Tabulation Sheet. All qualified firms are listed on the form. The total scores at the bottom of each individual score sheet were correctly reflected on the Tabulation Form. Highest ranked lead firm is INDOT prequalified. (Applicable when INDOT Prequalification is required in RFP.) The highest ranked team (Lead & Sub firms) is prequalified to perform all work types listed in the RFP. Selection Review Checklist - Tabulation Sheet 52

50. Approval of Consultant Selection • The LPA Selection Review Checklist should be signed by the ERC. • The LPA Selection Review Checklist is submitted to the District Local Program Director along with the following: • Advertised RFP • DBE Goal set email at ___ % • DBE Goal met email from EOD • Past Performance Data as provided by INDOT • Scoring Tabulation Sheet and Score Sheets • Affirmative Action Certification Form for the top ranked firm 53